Office - LP & HS Compliance Audit - August 2015

• Document No.

• Store Name & Branch No

• Area Manager

• Conducted on

  Date

• Prepared by

Staff Awareness and Vigilance

• Is there a clear staff presence at the from of the store

  Yes

  No

  Not Applicable

• Are customers acknowledged and greeted upon entry

  Yes

  No

  Not Applicable

• Are all staff vigilant and engaged in operational tasks

  Yes

  No

  Not Applicable

• Do Management know their previous audit results and key loss lines

  Yes

  No

  Not Applicable

EAS Tagging

• Where fitted, is the EAS tagging system in good working order - Physical test - Is the system managed and staff respond appropriately

  Yes

  No

  Not Applicable

• Are all self service items tagged

  Yes

  No

  Not Applicable

• If EAS Tagging system activates during visit, do staff attend to the customers in a positive manner

  Yes

  No

  Not Applicable

• If clothing items on sale, are these 100% tagged / 3 alarmed

  Yes

  No

  Not Applicable

Till Points

• Are Manual Credit Card machines intact, with slips and available at the POS

  Yes

  No

  Not Applicable

• Are the till points clear of any unaccounted Gift Cards (Check under keyboards, drawers etc - validate value and follow up with Customer services if required)

  Yes

  No

  Not Applicable

• Are till points clear of all unaccounted stock, in or around the POS area - Any key alert signals

  Yes

  No

  Not Applicable

• Are till points clear of receipts, tickets, cash etc - Clear of Alert Signals

  Yes

  No

  Not Applicable

• Are all "No Sale" transactions, signed and validated and show a valid reason. (2 signatures)

  Yes

  No

  Not Applicable

• Are all void transactions checked and signed by Management - Check previous 4 weeks (2 signatures)

  Yes

  No

  Not Applicable

• Are all refund transactions, validated at the time by Management, double signed and have customer signature - Check previous 4 weeks<br>Can persons validating refunds verify that customer and merchandise was present at the time. Validate a minimum of 5 transactions on CCTV if available)

  Yes

  No

  Not Applicable

Cash Controls

• Are daily safe checks conducted and recorded - to verify all Bankings are present and correct, un-tampered with and floats etc all correct.

  Yes

  No

  Not Applicable

• Is the end of day Cashing up sheet being used and completed.

  Yes

  No

  Not Applicable

• At end of day cash up, do the Managers conducting and validating the cash up, seal all monies into clear inner cash bag and signing the End of Day Banking Report.<br>Validate 5 days with CCTV if available

  Yes

  No

  Not Applicable

• Are all inner and outer bags scanned receipts available on the paperwork<br>And are G4S collection receipts available for all collections - Check previous 4 weeks

  Yes

  No

  Not Applicable

• From the available Bankings in safe, are all inner bag numbers correct, matched to Giro Slips and weekly paperwork

  Yes

  No

  Not Applicable

• Are daily Bankings, ready for collection, available and secure in safe

  Yes

  No

  Not Applicable

• Are all Collection Information sections (previous 4 weeks) on Weekly Banking sheet, completed in full, with correct values and double signed. completed on the day by those involved in the process (No pre signing!)

  Yes

  No

  Not Applicable

• Are all daily cash ups for previous 4 weeks, dual controlled, double signed and accurately recorded on the Weekly Banking sheet (Small Bag No's; Amounts; Dual controlled). Are they recorded at the time of cash up and signed by those involved in the process.

  Yes

  No

  Not Applicable

• Have all cash discrepancies in the last 4 weeks been satisfactorily investigated

  Yes

  No

  Not Applicable

• Have all cash discrepancies over/under £5 been reported to Accounts / Area Manager. Evidence of relevant email to parties concerned.

  Yes

  No

  Not Applicable

• Have till floats been accurately recorded and signed for

  Yes

  No

  Not Applicable

• Is Petty Cash accurately recorded, and copy available in store. Does the handwritten P/C match the Relevant till print off

  Yes

  No

  Not Applicable

Asset Protection & Cash Office

• Is the Cash / Mgrs office kept locked and secure, with restricted access

  Yes

  No

  Not Applicable

• Is the Safe locked during the visit - Physical test

  Yes

  No

  Not Applicable

• Is access to the safe controlled and restricted to limited personal only.

  Yes

  No

  Not Applicable

• Is cash always secured in the safe when office is left unattended - Review CCTV if available

  Yes

  No

  Not Applicable

• Is the personnel information kept safe & secure

  Yes

  No

  Not Applicable

• Are store keys controlled and in possession of relevant Manager in charge

  Yes

  No

  Not Applicable

CCTV

• Is the relevant CCTV Data Protection signage available and visible in store.

  Yes

  No

  Not Applicable

• Do the Management in store, know how to operate the CCTV and burn evidence to disc

  Yes

  No

  Not Applicable

• Is the time and date on CCTV systems set correctly. If not adjust and reset.<br>NB: Failure of this test does not affect the score of the audit, as this is out of the control of the store manager!

  Yes

  No

  Not Applicable

• Is the CCTV fully operational.<br>If not report to Property. <br>NB: Failure of this test does not affect the overall score as this is out of the control of the store management

  Yes

  No

  Not Applicable

Staff Controls

• Do staff & visitors book in and out when entering and leaving the site

  Yes

  No

  Not Applicable

• Conduct 2 Random staff checks, validating the footwear worn against the footwear declared on the signing in sheet

  Yes

  No

  Not Applicable

• Conduct 2 Random Uniform / Discount Checks. Are all discounts recorded correctly. Print off discount report from till and validate.

  Yes

  No

  Not Applicable

• Is there evidence of thorough staff searches - Bags, coats etc. staff searches should take place in view of CCTV where this is available.<br> Validate against CCTV and Signing in and out sheet

  Yes

  No

  Not Applicable

• Is there evidence that all waste / rubbish leaving the premises controlled and checked by Management (clear bags in use)

  Yes

  No

  Not Applicable

• If lockers have been made available, are they being used - If not available is there one area dedicated for staff to place personal property - Are searches conducted on lockers

  Yes

  No

  Not Applicable

Intruder Alarm

• Are all PIR / Detectors clear and unobstructed. Store management should be aware of the importance of ensuring all PIR's are clear and un obstructed and this should form part of the store close down checks.

  Yes

  No

  Not Applicable

• Are all perimeter doors on 24 hour alarm

  Yes

  No

  Not Applicable

• Is alarm provision sufficient. <br>Ensure trap protection of door contacts and internal PIR's to ensure double protection at points of entry.<br>Failure of this test does not affect the overall score, as this is out of the control of the Store Management.<br>Report any exposures to property!

  Yes

  No

  Not Applicable

• Are individual alarm fobs / codes being used (no sharing)

  Yes

  No

  Not Applicable

• Are any / all spare alarm fobs accounted for and secured in the safe

  Yes

  No

  Not Applicable

• Is the Key Holders list up to date.

  Yes

  No

  Not Applicable

Stock Rooms and Back of House controls

• Are deliveries checked off correctly and validated (Booked in / Sign off sheet used / Delivery validated)

  Yes

  No

  Not Applicable

• Are "Odd Shoes" controlled satisfactorily

  Yes

  No

  Not Applicable

• Are faulty items managed correctly - Green labels attached, processed through the till and authorised by Management

  Yes

  No

  Not Applicable

• Is there a designated area for faulty items

  Yes

  No

  Not Applicable

• Are all shunt alarms in the "ON" position and keys controlled

  Yes

  No

  Not Applicable

• Are all perimeter / rear delivery doors secure, when not in use.

  Yes

  No

  Not Applicable

• As customer and staff holds cleared daily

  Yes

  No

  Not Applicable

• Are customer and staff holds, clearly labelled and authorised by Management

  Yes

  No

  Not Applicable

• Is the general house keeping and cleanliness in good order (i.e. are shoes on shelves, no stock on floor or un boxed, at risk of becoming damaged or falling behind fixtures etc)

  Yes

  No

  Not Applicable

Health & Safety

• Is staff H&S training complete and available for review. Each person should have all the relevant training materials signed off and copy in personnel file. <br>NB: All relevant H&S Training docs are available on the intranet under the Property tab. <br><br>Training should be revisited each and every April & October for all staff. All new staff should receive H&S Training on day one! <br><br>This is a legal requirement and a zero tolerance approach should be adopted to non compliance

  Yes

  No

  Not Applicable

• Is an up to date Fire Risk Assessment in place

  Yes

  No

  Not Applicable

• Is there an up to date General risk assessment in place

  Yes

  No

  Not Applicable

• Are general hygiene standards acceptable

  Yes

  No

  Not Applicable

• Are welfare facilities available for staff to take meals

  Yes

  No

  Not Applicable

• Is an accident book available for use

  Yes

  No

  Not Applicable

• Is First Aid kit available in store

  Yes

  No

  Not Applicable

• Are all ladders / kick stools recorded in the ladder register

  Yes

  No

  Not Applicable

• Are all kick stools / ladders / step ladders etc fit for purpose

  Yes

  No

  Not Applicable

• Has PAT testing been conducted in the previous 12 months

  Yes

  No

  Not Applicable

• Is / Are wet floor signs / rain mats available in store

  Yes

  No

  Not Applicable

• Are all internal fire doors closed to prevent and reduce the spread of smoke. (Exception being where the doors are controlled with electronic magnetic release on activation system). Are they in good condition & labelled appropriately.

  Yes

  No

  Not Applicable

• Has the fire alarm been tested in the last 6 months

  Yes

  No

  Not Applicable

• Where installed are all sprinkler heads unobstructed (min 50cm clearance)

  Yes

  No

  Not Applicable

• Are all fire escape routes clear and unobstructed and free of any combustible materials

  Yes

  No

  Not Applicable

• Have all fire extinguishers been inspected and serviced in the previous 12 months

  Yes

  No

  Not Applicable

• 6 Monthly fire evacuation drills conducted and recorded in the knowledge

  Yes

  No

  Not Applicable

• Weekly Fire Tests completed & Recorded

  Yes

  No

  Not Applicable

• Has the emergency lighting been tested monthly and recorded in the "Knowledge"

  Yes

  No

  Not Applicable

• Has the annual Sprinkler test been conducted by appropriate engineers and certificate available in the "Knowledge"

  Yes

  No

  N/A

• Is the electrical cupboard, clearly labelled and clear of storage of combustible materials.

  Yes

  No

  Not Applicable

• Have the monthly H&S checks been conducted and recorded (available in the Knowledge)

  Yes

  No

  Not Applicable

• Are all fixtures and fittings safe and secure on the shop floor and back of house

  Yes

  No

  Not Applicable

• Is the store free of any significant Slip, trip and fall hazards ---- Is the flooring in good repair

  Yes

  No

  Not Applicable

• Is the site free from any other significant hazards identified - If not (photo / sketch ) and state what action action taken to remedy

  Yes

  No

  Not Applicable

• Summary and Key Action Points. All points should be given as constructive feedback to the Manager or person Managing the store on the day.

• Signature of Auditor

  Sign

• Signature of Manager on Duty and receiving feedback. I accept and acknowledge the action points and agree to action as requested

  Sign